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Daftar kawal selia › ASIC › AFSL 460464
ROC CAPITAL PTY LIMITED
澳大利亚 ASIC · AFSL 460464 · Authorised (AFS licensee — FX/derivatives-related authorisation)
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Medan daftar rasmi
| Pengawal selia | ASIC |
| No. lesen / daftar | AFSL 460464 |
| Status pendaftaran | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 37167858764 |
| Tarikh kuat kuasa lesen | 07/11/2014 |
| Wilayah berdaftar | SYDNEY NSW 2000 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28
Syarat kebenaran (asal ASIC)
This licence authorises the licensee to carry on a financial services business to:
(a) provide general financial product advice to retail and wholesale clients for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) interests in managed investment schemes excluding investor directed portfolio services; and
(v) securities;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes excluding investor directed portfolio services; and
(ii) arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail and wholesale clients only in respect of the following classes of financial products:
(A) securities;
(iii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) interests in managed investment schemes excluding investor directed portfolio services; and
(E) securities; and
(iv) underwriting to wholesale clients only:
(A) interests in managed investment schemes; and
(B) an issue of securities; and
(c) provide the following custodial or depository services to wholesale clients only:
(i) operate custodial or depository services other than investor directed portfolio services;.
(a) provide general financial product advice to retail and wholesale clients for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) interests in managed investment schemes excluding investor directed portfolio services; and
(v) securities;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes excluding investor directed portfolio services; and
(ii) arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail and wholesale clients only in respect of the following classes of financial products:
(A) securities;
(iii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) interests in managed investment schemes excluding investor directed portfolio services; and
(E) securities; and
(iv) underwriting to wholesale clients only:
(A) interests in managed investment schemes; and
(B) an issue of securities; and
(c) provide the following custodial or depository services to wholesale clients only:
(i) operate custodial or depository services other than investor directed portfolio services;.
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